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Carrot Peelers, Sales, Personality and Your Job Search
Public Interest
Law Student
Graduate/Undergraduate Intern Duties: Learn how to assess member firm compliance with the rules and regulations that govern their securities activities and their interaction with the investing public. Observe examination activity conducted by FINRA regulatory professionals. Assist in reviewing and analyzing customer complaints and termination for cause investigations. Assist in reviewing, analyzing, and comparing documents and information on firm finances, policies, procedures, practices, and products to security industry rules, regulations and guidelines. Access systems, applications and records, collecting and disseminating data/reports. Assist in preparing memoranda and reports regarding investigations. Collect, prepare and itemize exhibits for reports of investigations. Assist in collecting historical pricing data utilizing market trade data and prepare examination schedules. Participate in conferences or interviews with senior examiners. Achieve an understanding and working knowledge of Frole and responsibilities in the securities industry with exposure to customer complaints, routine examinations, and the new member application process. Provide ad hoc project/ministerial or technical support.
Qualification and Experience
Qualifications: Majoring in Finance, Accounting, Business Administration, or pursuing a Master’s Degree or JD Degree. Only candidates entering their third or fourth year of undergraduate studies or pursuing graduate studies will be considered. Some internship positions may require law students to be entering their final year of study. Work experience in a financial, brokerage or investment environment is a plus. Strong work ethic, positive attitude and professional demeanor. Effective communication, time management, and organizational skills. Ability to work with others to meet deadlines. Ability to perform multiple tasks efficiently and accurately. Period: Runs from May 20, 2019 through August 9, 2019. Flexible start and end dates will be allowed based on school schedule.
Job Number: 006928. Send cover letter and current resume. Selected interviewee may be required to submit a transcript at that time. No phone calls please.
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